Mark Seffinger
Professional Summary
Mark Seffinger, who also goes by Mark Lawrence Seffinger, Mark Seffinger, is a registered financial advisor currently at SOFI SECURITIES LLC located in Greenville, Delaware. Mark is registered as a RR (Registered Representative) and started their career in finance in 1993. Mark has worked at 8 firms and has passed the Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mark Lawrence Seffinger, Mark Seffinger
Similar Advisors
SHERPA CAPITAL MANAGEMENT
OSAIC WEALTH, INC.
BARGELD FINANCIAL
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SHERPA CAPITAL MANAGEMENT
OSAIC WEALTH, INC.
BARGELD FINANCIAL
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SHERPA CAPITAL MANAGEMENT
OSAIC WEALTH, INC.
BARGELD FINANCIAL
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
Similar Advisors
SHERPA CAPITAL MANAGEMENT
OSAIC WEALTH, INC.
BARGELD FINANCIAL
Years of Experience
33 years in the financial services industry
Current & Past Employments
Similar Advisors
SHERPA CAPITAL MANAGEMENT
OSAIC WEALTH, INC.
BARGELD FINANCIAL
Current Firm
BOHICA SECURITIES LLC | SOFI SECURITIES LLC
Contact Information
Main Address
234 1st Street, San Francisco, CA 94105Mailing Address
234 1st Street, San Francisco, CA 94105Phone Number
(855) 525-7634Established
New York since 08/04/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
2Arbitration
1Similar Advisors
SHERPA CAPITAL MANAGEMENT
OSAIC WEALTH, INC.
BARGELD FINANCIAL
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
Similar Advisors
SHERPA CAPITAL MANAGEMENT
OSAIC WEALTH, INC.
BARGELD FINANCIAL
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
SHERPA CAPITAL MANAGEMENT
OSAIC WEALTH, INC.
BARGELD FINANCIAL
CRS (Client Relationship Summary) - BD
Click below to view Mark Seffinger's CRS (Customer Relationship Summary).
Similar Advisors
SHERPA CAPITAL MANAGEMENT
OSAIC WEALTH, INC.
BARGELD FINANCIAL
